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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Morgan Smith is a financial advisor with Vanguard Marketing Corp. John is registered with FINRA and the state of North Carolina. John has been in the industry since 2018. Previously, John worked at ROBINHOOD FINANCIAL, LLC in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION in Charlotte, North Carolina. John has passed the Series 63, Series 7, Series 65, and SIE exams. John has Series 63 and Series 7 licenses for the state of Virginia, and Series 63 and Series 7 licenses for the state of North Carolina.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
08/31/2022 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
NC
01/03/2022 - 08/08/2022
ROBINHOOD FINANCIAL, LLC (Charlotte NC)
NC
09/12/2018 - 12/18/2021
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
VA
07/19/2017 - 10/24/2017
AXA ADVISORS, LLC (ABINGDON VA)
IA
Issued 09/21/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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